Our Staff has compiled our research into a database of FINRA Broker Disclosures for Pruco Securities, Llc.. Search or filter the database to find more about a specific broker.
Search by Name, CRD, Disclosures, or Damages:
| Name | CRD | Total Disclosures | Filing Date | Disclosure Type | Disclosure Status | Damages Requested | Damages Granted | FINRA Reports |
|---|---|---|---|---|---|---|---|---|
| David John Zauner | 2027403 | 2 | 01/31/2023 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Shobhna D Rana | 6056179 | 1 | 01/11/2023 | Customer Dispute | Pending | $25,000.00 | $0.00 | See FINRA Report |
| Kelly Renee Rose | 2165846 | 1 | 12/29/2022 | Customer Dispute | Pending | $0.00 | $0.00 | See FINRA Report |
| Aaron Min-Kee Wallof | 6500874 | 2 | 12/27/2022 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Kevin Michael Koch | 1107569 | 4 | 12/13/2022 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Scott Alan Davis | 3224197 | 1 | 12/08/2022 | Customer Dispute | Pending | $19,331.00 | $0.00 | See FINRA Report |
| Linda Rae Loring | 2560965 | 5 | 12/07/2022 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Linda Rae Loring | 2560965 | 5 | 12/07/2022 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Linda Rae Loring | 2560965 | 5 | 12/07/2022 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Linda Rae Loring | 2560965 | 5 | 12/07/2022 | Financial | Final | $0.00 | $0.00 | See FINRA Report |